An umbrella organization of 10 provincial and 3 territorial regulators that improve, coordinate and harmonize regulation of thr Canadian capital markets. Designed to protect investors .
SRO Self-regulatory organizations
Delegates regulatory functions by provincial bodies. Prescribes their own rules of conduct and financial requirements. CSA monitors SROs
IIROC
IIROC is an SRO monitored by the CSA. IIROC oversees all investment dealers and trading activity on debt and equity marketplaces in CANADA.
MFDA
MFDA is an SRO monitored by CSA. It regulated the distribution of sales and mutual funds in Canada except for quebec (AMF Autorite des marches financiers.
OSFI Office of Superintendent of Financial Institutions
An independent agency of the government oof Canada designed to contribute to the soundness of the Canadian financial system. Supervises banks, trust and loan companies and co-operative credit associations. Does not regulate any securities
